Richard L. Trang
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Leroy Trang, who also goes by Rich Trang, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1971. Richard had worked at 4 firms and has passed the Series 63, Series 7, Series 22, Series 6, Series 1, Series 27, Series 24, Series 39 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 1988 - October 19, 1993
R L TRANG & ASSOCIATES, INC.
September 11, 1986 - July 7, 1988
KOBER FINANCIAL CORP.
August 8, 1985 - July 23, 1987
HICKEY, KOBER, INCORPORATED
January 27, 1971 - March 17, 1978
CORNERSTONE FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 1/21/1971
Registered Representative ExaminationCurrent Firm
R L TRANG & ASSOCIATES, INC.
CRD#: 22298 / SEC#: , 8-39654
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
